Office of Hearing Officers
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
| Date of Decision | Proceeding No. | Title | Type |
Order No. |
|---|---|---|---|---|
| Feb 2, 2018 | 2015046759201 | APPEALED: Todd B. Wyche | Disciplinary Decision | |
| Apr 29, 2014 | 2011028061001 | Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley | Disciplinary Decision | |
| Aug 28, 2000 | C02990022 | Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace | Disciplinary Decision | |
| Dec 28, 2001 | CMS000015 | Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. | Disciplinary Decision | |
| Sep 28, 2012 | 2009019837302 | Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier | Disciplinary Decision | |
| Jan 26, 2011 | 2006004122402 | Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre | Disciplinary Decision | |
| Jun 18, 1999 | CAF970011 | Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. | Disciplinary Decision | |
| Jul 10, 2015 | 2009017440201 | APPEALED: Louis Ottimo | Disciplinary Decision | |
| Jul 11, 2016 | FPI160004 | Fairbridge Capital Markets | Expedited Decision | |
| Apr 15, 2013 | 2011030192201 | Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III | Disciplinary Decision | |
| Dec 30, 2011 | 2005002244102 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Jan 30, 2003 | C8A020014 | Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger | Disciplinary Decision | |
| Feb 10, 2006 | C07040042 | Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske | Disciplinary Decision | |
| Feb 28, 2007 | 2005001514501 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Apr 14, 2010 | 2007009403801 | Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson | Disciplinary Decision | |
| Jan 14, 2005 | C10040025 | Hearing Panel Decision in Department of Enforcement vs. John Brigandi | Disciplinary Decision | |
| Feb 9, 2017 | 2013035344201 | Red River Securities, LLC and Brian Keith Hardwick | Disciplinary Decision | |
| Apr 23, 2014 | 2011027993301 | Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune | Disciplinary Decision | |
| Mar 21, 2017 | 2013035865303 | APPEALED: Spencer Edwards, Inc. and Gordon Dihle | Disciplinary Decision | |
| Apr 25, 2008 | CAF040079 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Feb 6, 2018 | DFC170004 | APPEALED: Dakota Securities International, Inc. | Expedited Decision | |
| May 16, 2014 | 2011028502101 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| Jul 28, 2000 | C8A980097 | Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan | Disciplinary Decision | |
| Feb 15, 2002 | C01010003 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Jan 30, 2001 | C07000023 | Hearing Panel Decision as to Respondent | Redacted Decision |